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Current Employers
Lpl Enterprise, Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-11-14
TX RA APPROVED_RES 2024-11-14
  • IL RA
    APPROVED
    Since 2024-11-14
  • TX RA
    APPROVED_RES
    Since 2024-11-14

Branch Locations

425 Huehl Road Suite 16B, Northbrook, IL 60062 • United States

1182 Heather Ct Suite 103, Lake Zurich, IL 60047 • United States

10275 W Higgins Road Suite 200, Rosemont, IL 60018 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Metropolitan Life Insurance Company Arlington Heights IL 04/1994 12/2017
Metlife Securities Inc. Arlington Heights IL 04/1994 12/2017
Massachusetts Mutual Life Insurance Company Springfield MA 07/2016 12/2017
Mml Investors Services, Llc Buffalo Grove IL 03/2017 12/2017
Pruco Securities, Llc. Rosemont IL 01/2018 11/2024
Prudential Insurance Company Of America Rosemont IL 01/2018 Present
Lpl Enterprise, Llc Lake Zurich IL 11/2024 Present
  • 04/1994 → 12/2017
    Metropolitan Life Insurance Company
    Arlington Heights, IL
  • 04/1994 → 12/2017
    Metlife Securities Inc.
    Arlington Heights, IL
  • 07/2016 → 12/2017
    Massachusetts Mutual Life Insurance Company
    Springfield, MA
  • 03/2017 → 12/2017
    Buffalo Grove, IL
  • 01/2018 → 11/2024
    Rosemont, IL
  • 01/2018 → Present
    Prudential Insurance Company Of America
    Rosemont, IL
  • 11/2024 → Present
    Lake Zurich, IL
Previous Registrations
  • 2018-01-30 → 2024-11-14
    Lake Zurich, IL
    Rosemont, IL
    Hawthorn Woods, IL
  • 2017-03-25 → 2018-01-05
    Buffalo Grove, IL
    Lake Zurich, IL
  • 2008-08-06 → 2017-03-25
    Msi Financial Services, Inc.
    Arlington Heights, IL
    Buffalo Grove, IL
    Arlington Heights, IL
    Chicago, IL
    Arlington Hts, IL
    Chicago, IL
    Buffalo Grove, IL
    Buffalo Grove, IL
Other Businesses

1) 03/20/2025-Eugene Cohen Insurance Agency, Inc-Non-Variable Insurance-Inv related-At Skokie, IL-Start date 01/01/2025-5hrs/mth-5hrs/mth during trading 2) 03/20/2025-GBS Group, Inc-Non-Variable Insurance-Inv related-At Hawthorn Woods, IL-Start date 01/01/2025-5hrs/mth-0hrs/mth during trading 3) 02/19/2025-Walter Cosmo-Non-Variable Insurance/Insurance Agency-Inv related-At Hawthorn Woods, IL-Start date 01/01/2025-5hrs/mth-0hrs/mth during trading 4) 02/06/2026-JRC Legacy Partners LLC-Partner-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 01/01/2026-160hrs/mth-160hrs/mth during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-07-17
S63 Uniform Securities Agent State Law Examination 1994-09-30
  • S65 Uniform Investment Adviser Law Examination
    1998-07-17
  • S63 Uniform Securities Agent State Law Examination
    1994-09-30

View on SEC IAPD

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